Reverse Stock Split
See below final Reverse Split Ratio
The Reverse Stock Split is anticipated to become effective after the close on October 6, 2022.
Quanergy Systems, Inc.
| Issuer Name | Quanergy Systems, Inc. |
| Security Name | Common Stock |
| Security Ticker Symbol | QNGY |
| Exchange | NYSE |
| Security CUSIP | 74764U104 |
| Reverse Split Ratio | 1 for 20 |
| Exchange Of Shares | Not Required |
| New Security Cusip | 74764U203 |
| Subject To | Subject to effectiveness of Amendment to Certificate of Incorporation |
| Trading Schedule | Trading under the New CUSIP to begin at the market open on October 7, 2022 following a 1 for 20 reverse stock split. |
| Meeting Of Shareholders | October 3, 2022 |
| Reference | Proxy Statement dated September 2, 2022 |
Reverse Stock Split
As a result of the reverse stock split, the exercise price of each warrant will increase from $11.50 per share to $230.00 per share.
Quanergy Systems, Inc.
| Issuer Name | Quanergy Systems, Inc. |
| Security Name | Warrants, each whole warrant exercisable for one share of Common Stock at an exercise price of $11.50 per share |
| Security Ticker Symbol | QNGY WS |
| Exchange | NYSE |
| Security CUSIP | 74764U112 |
| Subject To | Subject to effectiveness of Amendment to Certificate of Incorporation |
| Type of Change | Change in Exercise Price |
| Current Terms | $11.50 |
| New Terms | $230.00 |
| Trading Schedule | Trading under the New Terms to begin at the market open on October 7, 2022. |
Spin-Off
REMINDER
NOTE: The Distribution will be made at 12:01 AM on October 7, 2022. Hence, the Common Stock of The LGL Group Inc. ("LGL") will be quoted "Ex-Distribution" on October 7, 2022.
LGL Group Inc (The), M-tron Industries, Inc.
| Parent Issuer Name | LGL Group Inc (The) |
| Parent Security Name | Common Stock |
| Parent Security Ticker Symbol | LGL |
| Parent Exchange | NYSE American |
| Parent Security CUSIP | 50186A108 |
| SPINCO Issuer Name | M-tron Industries, Inc. |
| SPINCO Security Name | Common Stock |
| SPINCO Security Symbol | MPTI |
| SPINCO Listing Market | NYSE American |
| SPINCO Security CUSIP | 55380K109 |
| Ex Date | October 7, 2022 |
| Record Date | September 30, 2022 |
| Pay Date | October 7, 2022 |
| Distribution Summary | 0.50 share(s) of M-tron Industries, Inc. Common Stock for each share of LGL Group Inc (The) Common Stock held. |
| Note | The Distribution will be made at 12:01 AM on October 7, 2022. Hence, the Common Stock of The LGL Group Inc. ("LGL") will be quoted "Ex-Distribution" on October 7, 2022. |
| | Due-Bills |
| First Day Of Due-Bills On | September 29, 2022 |
| Last Day Of Due-Bills On | October 6, 2022 |
| Due-Bills Off | October 7, 2022 |
| Due-Bills Settlement Date | October 11, 2022 |
| Issuer Name | LGL Group Inc (The) |
| Security Name | Common Stock |
| Security Ticker Symbol | LGL WI |
| Exchange | NYSE American |
| Security CUSIP | 50186A140 |
| First "Ex-Distribution" Trading Date | September 29, 2022 |
| Last "Ex-Distribution" Trading Date | October 6, 2022 |
| Settlement Date | October 12, 2022 |
| Trading Schedule | Security to be trading in two markets, "Regular Way" and "Ex-Distribution" markets beginning on September 29, 2022 |
| Issuer Name | M-tron Industries, Inc. |
| Security Name | Common Stock |
| Security Ticker Symbol | MPTI WI |
| Exchange | NYSE American |
| Security CUSIP | 55380K109 |
| First "When-Issued" Market Trading Date | September 29, 2022 |
| Last "When-Issued" Market Trading Date | October 6, 2022 |
| Settlement Date | October 12, 2022 |
| Trading Schedule | To be admitted to trading in a "When-Issued" market on September 29, 2022. |
| Issuer Name | LGL Group Inc (The) |
| Security Name | Common Stock |
| Security Ticker Symbol | LGL WI |
| Exchange | NYSE American |
| Security CUSIP | 50186A140 |
| "Ex-Distribution" Market Suspension Date | October 7, 2022 |
| Trading Schedule | "Ex-Distribution" Market Trading to be suspended on October 7, 2022. Trading will continue "Regular-Way" at a new price. |
| Issuer Name | M-tron Industries, Inc. |
| Security Name | Common Stock |
| Security Ticker Symbol | MPTI WI |
| Exchange | NYSE American |
| Security CUSIP | 55380K109 |
| First "Regular-Way" Market Trading Date | October 7, 2022 |
| "Regular-Way" Security Symbol | MPTI |
| Trading Schedule | The Symbol Suffix "WI" representing the "When-Issued" market will be removed. Trading in the "Regular-Way" market under Symbol "MPTI " to begin at the market open on October 7, 2022. |
New Listing
Reinsurance Group of America, Incorporated
| Issuer Name | Reinsurance Group of America, Incorporated |
| Security Name | 7.125% Fixed-Rate Reset Subordinated Debentures due 2052 |
| Security Ticker Symbol | RZC |
| Exchange | NYSE |
| Security CUSIP | 759351885 |
| First day of Trading | October 7, 2022 |
| Principal Amount | USD 700,000,000.00 |
| Expiration / Mandatory Conversion / Mandatory Redemption / Maturity Date | October 15, 2052 |
| Coupon / Distribution / Dividend / Interest Rate | 7.125% |
| Pay Period | Quarterly |
| Lead Underwriters | Wells Fargo Securities // BofA Securities |
| Prospectus Supplement / Prospectus Date | September 15, 2022 |
| Denominations | $25 |
| Trading Schedule | To be admitted to the list and to trading,Effective before the Open on October 7, 2022 |
| Note | Before a member organization or employee of such member organization undertakes to recommend a transaction in the stated security, such member organization should make a determination that the aforementioned issue(s) are suitable for such customer and the person making the recommendation should have a reasonable basis for believing, at the time of making the recommendation, that the customer has such knowledge and experience in financial matters that he/she may reasonably be expected to be capable of evaluating the risks and the special characteristics of the recommended transaction, including those highlighted above, and is financially able to bear the risks of the recommended transaction. |
Change in Name/Symbol/CUSIP
Synthetic Biologics Inc.
| Issuer Name | Synthetic Biologics Inc. |
| Security Name | Common Stock |
| Security Ticker Symbol | SYN |
| Exchange | NYSE American |
| Security CUSIP | 87164U409 |
| Subject To | Subject to effectiveness of Amendment to Certificate of Incorporation |
| New Issuer Name | Theriva Biologics, Inc. |
| New Security Symbol | TOVX |
| Trading Schedule | Trading under the New Name & Symbol to begin at the market open on October 13, 2022. |
| Meeting Of Shareholders | September 30, 2022 |
| Reference | Proxy Statement dated August 16, 2022 |
Call for Redemption
Atlantic Avenue Acquisition Corp
| Issuer Name | Atlantic Avenue Acquisition Corp |
| Exchange | NYSE |
| Announcement Date | October 3, 2022 |
| Redemption Date | October 6, 2022 |
| Security Name | Security Ticker Symbol | Security CUSIP | Redemption Price | Cancelled |
| Units, each consisting of one share of Class A common stock and one-half of one Warrant | ASAQ U | 04906P200 | Approximately $10.03 | No |
| Class A Common Stock | ASAQ | 04906P101 | Approximately $10.03 | No |
| Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50 per share | ASAQ WS | 04906P119 | There will be no redemption rights or liquidating distributions with respect to the Company's warrants, which will expire worthless. | No |
| Issuer Name | Atlantic Avenue Acquisition Corp |
| Exchange | NYSE |
| Suspension Date | October 6, 2022 Effective before the Open |
| Trading Schedule | Trading to be suspended on October 6, 2022 Effective before the Open |
| Security Name | Security Ticker Symbol | Security CUSIP | Cancelled |
| Units, each consisting of one share of Class A common stock and one-half of one Warrant | ASAQ U | 04906P200 | No |
| Class A Common Stock | ASAQ | 04906P101 | No |
| Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50 per share | ASAQ WS | 04906P119 | No |
Maturity
The Last Day of Trading will be December 1, 2022.
iShares Trust
| Issuer Name | iShares Trust |
| Security Name | iShares iBonds Dec 2022 Term Muni Bond ETF |
| Security Symbol | IBMK |
| Exchange | NYSE Arca |
| Security CUSIP | 46435G755 |
| Liquidation Date | December 7, 2022 |
| Issuer Name | iShares Trust |
| Security Name | iShares iBonds Dec 2022 Term Muni Bond ETF |
| Security Ticker Symbol | IBMK |
| Exchange | NYSE Arca |
| Security CUSIP | 46435G755 |
| Suspension Date | December 2, 2022 Effective before the Open |
| Trading Schedule | Trading to be suspended on December 2, 2022 Effective before the Open |
Change in Domicile
Election Deadline is October 6, 2022, the date before the Special Meeting.
Subject to shareholder approval, the Reorganization is anticipated to become effective before the Opening on October 13, 2022.
Zymeworks Inc.
| Issuer Name | Zymeworks Inc. |
| Security Name | Common Shares |
| Security Ticker Symbol | ZYME |
| Exchange | NYSE |
| Security CUSIP | 98985W102 |
| Type of Change | Country of Incorporation |
| Current Domicile | British Columbia, Canada |
| New Domicile | Delaware, USA |
| Exchange Of Shares | Required |
| Issuer Name | Zymeworks Inc. |
| Security Name | Common Shares |
| Security Ticker Symbol | ZYME |
| Exchange | NYSE |
| Security CUSIP | 98985W102 |
| Terms Summary | Each Zymeworks Inc. Common Share will be converted into the right to receive, at their election and subject to applicable eligibility criteria, either (a) shares of Delaware Common Stock, on a one-for-one basis for their Zymeworks Common Shares, or (b) Exchangeable Shares on a one-for-one basis for their Zymeworks Common Shares, or a mix of Exchangeable Shares and Delaware Common Stock in such aggregate number that is equal to the number of Zymeworks Common Shares exchanged for them (the “Mixed Election”), subject to the Exchangeable Share Cap that is equal to 18% of (i) the number of Zymeworks Common Shares issued and outstanding immediately prior to the Effective Time, less (ii) the number of Zymeworks Common Shares held by any Zymeworks Shareholders who exercise their Dissent Rights (see proxy statement for further details) Non-Eligible Holders and Eligible Holders who have not made an election will receive shares of Delaware Common Stock on a one-for-one basis NOTE: The Exchangeable Shares will not be listed on any stock exchange. |
| Election Deadline Date | October 6, 2022 |
| Election Deadline Time | 5:00 p.m. (Vancouver time) |
| Issuer Name | Zymeworks Inc. |
| Security Name | Common Shares |
| Security Ticker Symbol | ZYME |
| Exchange | NYSE |
| Security CUSIP | 98985W102 |
| Subject To | Subject to effectiveness of the Plan of Reorganization |
| Suspension Date | October 13, 2022 Pending before the Open |
| Trading Schedule | Trading to be suspended on October 13, 2022 Pending before the Open |
| Issuer Name | Zymeworks Inc. |
| Security Name | Common Shares |
| Security Ticker Symbol | ZYME |
| Exchange | NYSE |
| Security CUSIP | 98985Y108 |
| Subject To | Subject to effectiveness of the Plan of Reorganization |
| Trading Schedule | To be admitted to the list and to trading on October 13, 2022 |
| Meeting Of Shareholders | October 7, 2022 |
| Reference | Proxy Statement dated September 2, 2022 |
Reverse Stock Split
Gravitas Education Holdings, Inc.
| Issuer Name | Gravitas Education Holdings, Inc. |
| Security Name | American depositary shares, each representing one Class A ordinary share |
| Security Ticker Symbol | GEHI |
| Exchange | NYSE |
| Security CUSIP | 74979W101 |
| Current Ratio | 1 ADS : 1 Class A Ordinary Share |
| New Ratio | 1 ADS : 20 Class A Ordinary Shares |
| New Security Name | American Depositary Shares, each representing twenty (20) Class A Ordinary Shares |
| ADS Split Type | Reverse Stock Split |
| ADS Split Ratio | 1 for 20 |
| ADS Split Note | The change in the ADS ratio will have the same effect as a one-for-twenty reverse ADS split. Every twenty (20) existing American depositary shares, each representing one Class A ordinary share will be exchanged for one (1) new American Depositary Shares, each representing twenty (20) Class A Ordinary Shares. The ADS Ratio Change will have no impact on Gravitas Education Holdings, Inc.'s underlying Ordinary Shares. |
| Exchange Of Shares | Required |
| Issuer Name | Gravitas Education Holdings, Inc. |
| Security Name | American depositary shares, each representing one Class A ordinary share |
| Security Ticker Symbol | GEHI |
| Exchange | NYSE |
| Security CUSIP | 74979W101 |
| Suspension Date | October 14, 2022 Effective before the Open |
| Trading Schedule | Trading to be suspended on October 14, 2022 Effective before the Open |
| Issuer Name | Gravitas Education Holdings, Inc. |
| Security Name | American Depositary Shares, each representing twenty (20) Class A Ordinary Shares |
| Security Ticker Symbol | GEHI |
| Exchange | NYSE |
| Security CUSIP | 74979W200 |
| Trading Schedule | To be admitted to the list and to trading on October 14, 2022 |
Reverse Stock Split
Air Industries Group
| Issuer Name | Air Industries Group |
| Security Name | Common Stock |
| Security Ticker Symbol | AIRI |
| Exchange | NYSE American |
| Security CUSIP | 00912N205 |
| Reverse Split Ratio | 1 for 10 |
| Exchange Of Shares | Not Required |
| New Security Cusip | 00912N403 |
| Subject To | Subject to effectiveness of Amendment to Certificate of Incorporation |
| Trading Schedule | Trading under the New CUSIP to begin at the market open on October 18, 2022 following a 1 for 10 reverse stock split. |
Reverse Stock Split
Two Harbors Investment Corp.
| Issuer Name | Two Harbors Investment Corp. |
| Security Name | Common Stock |
| Security Ticker Symbol | TWO |
| Exchange | NYSE |
| Security CUSIP | 90187B408 |
| Reverse Split Ratio | 1 for 4 |
| Exchange Of Shares | Not Required |
| New Security Cusip | 90187B804 |
| Subject To | Subject to effectiveness of Amendment to Certificate of Incorporation |
| Trading Schedule | Trading under the New CUSIP to begin at the market open on November 2, 2022 following a 1 for 4 reverse stock split. |